ADR Technique: Multiple Techniques

How the ADR System Works
The Office of Dispute Resolution is located in the headquarters of the Department of Energy and is responsible for encouraging Alternative Dispute Resolution (ADR) throughout the agency, at all its field offices and with all its contractors. The Director of the office provides training, system design support and acts as a consultant for all types of dispute resolution, ranging from preventive techniques, such as partnering, differing professional opinion processes and ombuds, to mediation in many types of disputes, such as intellectual property, contract, environment, grants and whistleblower complaints.

The majority of mediations concern workplace disputes. In addition to working with the field and contractors, the Office of Dispute Resolution manages a workplace mediation program for headquarters employees. Any kind of dispute can be referred to mediation - from the Office of Civil Rights, Office of Employee and Labor Relations, the Employee Assistance Program, the Office of Ombudsperson, the Union, or directly from managers or supervisors. The program encourages referrals of conflicts at as early a stage as possible, believing that this offers the best opportunity for a lasting resolution. Thus, managers are encouraged to use the program before an EEO complaint or grievance has been filed.

The program is run by a Headquarters Mediation Program Manager who spends a great deal of time on convening. She determines the nature of the dispute and who must be involved to achieve resolution. She then obtains the consent of relevant parties to the mediation process and works closely with them, offering information, including a video, and often providing coaching, to help them understand and prepare for the mediation. She assigns a mediator from a group of mediators under contract with the Department of Energy, or on occasion, uses mediators from other federal agencies. A new phase has been added to the mediation program--the Mediation Program Manager observes each mediation and helps the mediator by assisting with the logistics, such as getting information from the personnel office, collecting signatures for settlement agreements, etc. In essence, she ties up the knots so that the mediator does not have to spend time making numerous phone calls. Both mediators and parties evaluate each mediation.

Background/Objective
The headquarters program began as a pilot in 1995, spurred by the requirements for ADR in EEO regulations. The program operates on the premise that most workplace conflicts are based on miscommunication, and that it is best to resolve them as early as possible before they enter a formal and adversarial process.

All offices and the National Treasury Employees Union were involved in the development of the initial pilot, and the program continues to emphasize broad involvement and access. The number of informal referrals continue to increase, in addition to those filed through the EEO or grievance process. There has been an increase in higher graded employees requesting mediation and senior management continues to be very supportive in resolving these workplace disputes. Most DOE field locations have established some kind of local mediation program, either using a shared neutrals program, private mediators, or local community organizations. Several of them are listed below.

Rules Governing the Activity
Both parties must voluntarily agree to participate in mediation, and may bring with them a family member, colleague, union representative, or attorney. If the complainant is represented by counsel, the mediation program manager requests attendance of agency counsel; otherwise, no attorneys are present. Technical assistance, such as a personnel specialist or the headquarters disability program coordinator are invited to participate when their expertise is needed. Mediations are strictly confidential, and information is shared only with those within the agency who need to know in order to implement a settlement.

Contact
Pamela Pontillo, Manager of the DOE Headquarters Mediation Program, Office of Dispute Resolution, GC-12, 1000 Independence Avenue, S.W. Room 6B-222, Washington, DC 20585; Telephone: (202) 586-4002 for Pamela Pontillo; FAX: (202) 586-7479; Email: pamela.pontillo@hq.doe.gov.

ADR Technique: Multiple Techniques

How the ADR System Works
The Department of Energy (DOE) Employee Concerns Program (ECP) is administered by the Headquarters Office of Employee Concerns which is located in the Office of Economic Impact and Diversity, and is implemented by employee concerns program offices throughout the DOE complex. The program does not replace existing formal procedures such as administrative grievance procedures, normal Environmental, Safety, and Health (ES&H) reporting avenues, or appeal rights available to employees. Instead, using ADR techniques such as facilitation, factfinding-finding, and mediation, the ECP supplements those programs by seeking to resolve problems before it becomes necessary to invoke formal procedures which can be costly and litigious, and frequently result in long delays before concerns are resolved.

Background/Objective
The Employee Concerns Program was established as part of a Secretarial initiative to ensure openness and reinforce DOE's zero-tolerance policy regarding whistleblower reprisal. Theprimary goal of the program is to create an environment in which DOE Federal and contractor employees feel free to raise concerns about policies and practices that adversely affect DOE's accomplishment of its mission in a safe and efficient manner; management at all levels appreciates the value of employee concerns; and concerns are appropriately, fairly, and objectively considered.

Duration/Current Activity
The current Employee Concerns Program was established in September 1996. In addition to establishing overall program policy and guidelines for the ECP, the Office of Employee Concerns assists ECP offices in the resolution of concerns, provides training to ECP managers and staff, coordinates the collection of data, and reports to the Secretary and other management officials on employee concerns program activity.

Rules Governing the Activity
The initial Employee Concerns Program, established in 1993, was governed by DOE Order 5480.29 and focused on concerns related to environmental, safety, and health issues. The new DOE policy statement, order, and program guide governing the current ECP was published under the 442 series in the DOE Directive System (DOE 0442.1A; DOE G442.1-1, both issued February 1, 1999).

Contact
William A. Lewis, Jr., Director, Office of Employee Concerns, U.S. Department of Energy, Room 1F-024, Routing Symbol ED-5, 1000 Independence Avenue, SW, Washington, D.C. 20585; Telephone: (202) 586-4034; FAX: (202) 586-4924; Email: bill.lewis@hq.doe.gov.

ADR Technique: Mediation

How the ADR System Works
Employees are encouraged to use mediation as a tool to address any issue that may interfere with employee morale, productivity, and work efficiency. Such issues are unavoidable in any workplace, and particularly in a workforce as large, diverse, and geographically dispersed as the activities reporting to the Albuquerque office. Employees are always encouraged to discuss issues with their immediate supervisor, with the understanding that they may pursue the Administrative Grievance Process or the EEO Discrimination Complaints Process within the prescribed time frames. AL has the mediation services contracted out. Each mediation participant is given an evaluation form. Additionally, employees are provided an agency point-of-contact if they prefer to provide an evaluation orally. Because of the confidentiality built into the program, evaluations cannot be matched to a particular case, but they allow continuous improvement of the overall program.

Background/Objective
The program goal is to address, as early as possible, any work-related dispute in an objective and confidential manner that inspires trust and achieves win-win solutions. Continued use of mediation helps the organization reach its strategic goals and operate within its core values.

Duration/Current Activity
This program began as DOE's first mediation pilot in May 1994 and became permanent because of its success. Its total cost through August 19, 2002 has been $31,339.52. During that time, there have been 61 mediations with 38 (18 EEO Related and 20 Non-EEO Related) successful resolutions. Since the EEOC's low-range estimate for the cost of a formal EEO complaint is $70,000, the program has clearly been highly cost-effective. Evaluations by participants show they are generally pleased with the program and believe that it facilitates fair and impartial resolutions to issues in the workplace. The program is actively promoted, with information made available to all employees and briefings provided to senior managers and EEO counselors.

Rules Governing the Activity
Aggrieved individuals have the right to representation throughout the complaint process, including during any mediation. While the purpose of mediation is to allow the parties to fashion their own resolution to a dispute, it is important that the mediation program provides all parties the opportunity to bring a representative to the mediation if they desire to do so.

Contact
Yolanda Ruiz, EEO and Diversity Program Manager, Office of Equal Opportunity, DOE, NNSA, Albuquerque Operations Office, P.O. Box 5400, Albuquerque, NM 87185-5400; Telephone: (505) 845-4243; FAX: (505) 845-4963; Email: yruiz@doeal.gov.

ADR Technique: Multiple Techniques

How the ADR System Works
Mediation and facilitation services are available to resolve Equal Employment Opportunity (EEO) disputes, and other workplace disputes, including those brought under Bonneville Power Administration's (BPA) Harassment-Free Workplace Policy. Participation by both employees and managers is voluntary; mediation services are provided primarily by either a list of internal mediators, or through the Oregon Federal Executive Board's "Shared Neutrals" program. Shared Neutrals' mediators come from participating Federal, state, and local governments. Ombuds services are available agency-wide, except those employees covered by the AFGE bargaining unit.

Background/Objective
BPA's mediation program started after BPA developed its Harassment-Free Workplace Policy in 1992. The program began using external contract mediators. Internal mediators were selected and trained in 1996. BPA joined Shared Neutrals in 1997.

Duration/Current Activity
In 1996 and again in 2001, BPA selected employees to train as mediators. They perform mediation as collateral duty for BPA cases and the Shared Neutrals Program. The number of BPA cases using mediation as an alternative is slowly growing. The Ombudsman program started in May 2000 after a year-long pilot program.

Rules Governing the Activity
The rules vary depending on the nature of the dispute, e.g., the Harassment Free Workplace Policy or the EEO Complaint process as defined under 29 CFR 1614. Since participation in the ADR program is voluntary, all parties to a dispute must at least believe that mediation or other forms of ADR have some value to resolve and/or bring better understanding to their dispute. ADR events through the EEO process are normally organized by an EEO Counselor; mediations through the Shared Neutrals program must comply with the Federal Executive Board's rules.

Contacts
Mark S. Danley, Dispute Resolution Coordinator and BPA Shared Neutrals' Liaison, Telephone: (503) 230-7370; Email: msdanley@bpa.gov.

ADR Technique: Ombuds

How the ADR System Works
The Idaho Operations Office (DOE-ID) Ombudsman program uses mediation as one form of dispute resolution. It is a voluntary program offered to any employee with a concern or dispute. Employees are encouraged to use mediation as a tool to address any issue that may interfere with employee morale, productivity, and work efficiency.

The program does not replace existing formal procedures such as administrative grievance procedures, normal Environmental, Safety, and Health (ES&H) reporting avenues, or appeal rights available to employees. Instead, using ADR techniques such as facilitation, fact-finding, and mediation, the Ombudsman supplements those programs by seeking to resolve problems before it becomes necessary to invoke formal procedures which can be costly and litigious and frequently result in long delays before concerns are resolved. Formal grievance processes are still available.

Any workplace concern or dispute may be resolved using mediation, including group mediation. Employees are encouraged from the top down to participate in this process. Mediators for DOE-ID are from both inhouse and independent organizations depending upon the requirements of the dispute.

Background/Objective
The objective of the Ombudsman program is to provide assistance to the entire organization to further promote organizational health for both individuals and the entire organizational structure. The primary goal of the program is to create an environment in which DOE-ID employees feel free to raise concerns about policies and practices that adversely affect DOE's accomplishment of its mission in a safe and efficient manner; management at all levels appreciates the value of the concerns and issues employees may have; and concerns are appropriately, fairly, and objectively considered.

Duration/Current Activity
The DOE-ID Ombudsman program was started in April 2000 to provide an alternative to the formal complaint processes. The number of cases is slowly growing as the program becomes more established and the workforce gains trust in the process. Feedback is provided to upper management regarding the types of concerns being identified (being careful to maintain the confidentiality of the individuals)to address systemic and programmatic areas for improvement.

Rules Governing the Activity
Prior to beginning each mediation session, ground rules are discussed and each participant is required to sign an "Agreement to Participate" which explains the mediation process. Since the process is voluntary, any settlement is the product of the participants and they are bound y the terms to which they have agreed. Should mediation not succeed, the case will be returned to the forum from which it came and the parties are then bound by the rules of that process. Mediations are strictly confidential, and information is shared only with those within the agency who need to know in order to implement a settlement.

Contact
Jeffrey N. Perry, Ombudsman, U. S. Department of Energy, Idaho Operations Office, 850 Energy Drive, Mail stop 1225, Idaho Falls, Idaho 83401; Telephone: (208) 526-4570; FAX: (208) 526-5678; Email: perryjn@id.doe.gov.

ADR Technique: Mediation

How the ADR System Works
The Nevada Operations Office ADR program uses mediation as the preferred form of dispute resolution. It is a voluntary program offered to any employee with a concern or dispute. The program is not limited to formal grievances or EEO complaints. Any workplace concern or dispute may be resolved using mediation, including group mediation. Employees are encouraged from the top down to participate in this process. Mediators are assigned by the Southern Nevada Federal Mediation Consortium (SNFMC) which maintains a pool of Federal employees trained as mediators. A mediator is only assigned cases from agencies other than the agency with which he/she is employed. This is a policy of the SNFMC intended to maintain the maximum level of confidentiality and neutrality.

Background/Objective
In 1996, the Nevada Operations Office began seeking ADR options to offer employees. After determining that mediation was the best alternative, the concept of partnering with other Federal agencies was developed. Solicitation began and on February 5, 1997 four Federal agencies signed an agreement establishing the SNFMC. Training of Federal employees began and the consortium now maintains up to 24 trained mediators.

Duration/Current Activity
The SNFMC continues to provide mediation services to all Federal agencies in the southern Nevada area. It is expected the number of disputes that will go to mediation will increase as the process gains credibility with its successes. The changes to the EEOC regulations requiring agencies to offer ADR to EEO complainants has resulted in interest being expressed by smaller agency offices in the Las Vegas area for mediation services. The SNFMC offers these services to any Federal agency, at no cost, even though they may not be a participant in the SNFMC. As more cases go to mediation, the savings to the agencies will subsequently increase.

Rules Governing the Activity
Prior to beginning each mediation session, ground rules are discussed and each participant is required to sign an "Agreement to Participate" which explains the mediation process. Since the process is voluntary, any settlement is the product of the participants and they are bound by the terms to which they have agreed. Should mediation not succeed, the case will be returned to the forum from which it came and the parties are then bound by the rules of that process.

Contact
Kathy M. Lynn, Human Resources Division, U.S. Department of Energy, National Nuclear Security Administration, Nevada Operations Office, P.O. Box 98518, Las Vegas NV 89193-8518; Telephone (702) 295-0566; Email: lynn@nv.doe.gov.

ADR Technique: Multiple Techniques

How the ADR System Works
While using a panoply of techniques to resolve disputes, the Richland Operations Office/Office of River Protection uses the Alternative Dispute Resolution/Differing Professional Opinion (ADR/DPO) programs. The ADR/DPO programs are complementary in that ADR tends to handle problems that are more personnel related while DPO tends to handle problems that are more technical in nature. Whether the actual technique used is mediation, partnering, ombudsmanship, neutral evaluation, nonbonding arbitration, ministerial, binding arbitration, or something else will depend on the specifies of each particular case.

Background/Objective
The objective of the Alternative Dispute Resolution (ADR) program is to provide assistance to the entire organization to further promote organizational health for both individuals and the entire organizational structure.

Duration/Current Activity
The ADR program has been minimally used at Richland Operations Office/Office of River Protection within the last two years. Currently, there are three collateral duty mediators on staff who are certified through a local Dispute Resolution Center and many outside experts available on call. RL/ORP currently has a contract with the Benton-Franklin Dispute Resolution Center, a non-profit organization. The DPO program has been in existence at Richland for two years. On staff are an administrator and several resource people who are experienced in the DPO process.

Rules Governing the Activity
The ADR program receives referrals from employees, supervisors, the Office of Special Concerns/Employee Concerns Office, Human Resources Division, the Diversity Program Manager, Employee Assistance Programs, and Procurement, and the Office of Chief Council. The ADR Administrator then recommends an appropriate mechanism whether it be arbitration, mediation, or another dispute resolution technique, and assists in obtaining the services needed. The DPO program receives a formal DPO submittal, normally from an employee, and then refers it to assigned senior management official. The RL/ORP manager appoints a review chair who in turn appoints two more members to a review panel. The panel studies the submittal and then makes its recommendations to the RL/ORP Manager. The ultimate decision on the issue or dispute remains with the management official.

Contact
Stan Branch, Lead Physical Scientist, Office of Special Concerns, U.S. Department of Energy, Richland Operations Office, A1-61, P.O. Box 550, Richland, Washington, 99352; Telephone: (509) 376-9450; FAX: (509) 372-0998; Email: stanley_o_branch@rl.gov